Yim Investment Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, publishing newsletters, and educational seminars.
Yim Investment Management reports 523 clients. They include 418 individual clients and 105 high-net-worth individuals. Of its assets, 92.9% ($286M across 1,561 accounts) are managed with discretion; $21.7M across 34 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 80% | 41% |
| High-net-worth individuals | 20% | 59% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 418 | $125M | 40.7% | $300K |
| High-net-worth individuals | 105 | $183M | 59.3% | $1.74M |
| Total | 523 | $308M | 100% | $589K |
- Clients
- 418
- Regulatory AUM
- $125M
- AUM share
- 40.7%
- Avg. per client
- $300K
- Clients
- 105
- Regulatory AUM
- $183M
- AUM share
- 59.3%
- Avg. per client
- $1.74M
Total
- Clients
- 523
- Regulatory AUM
- $308M
- AUM share
- 100%
- Avg. per client
- $589K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Yim Investment Management charges 1.40% a year for its Investment Management Standard Fee Schedule. The fee is billed in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Other Services
- Financial planning and other services are billed hourly at up to $500 per hour, due at the time of service.
Mario Yim owns 50% to 75% of Yim Investment Management. The leadership team of Yim Investment Management includes Chief Investment Officer Mario Yim and Chief Compliance Officer Kaide Liu. It has 7 employees, 1 of them in advisory roles.
Staff
- 7 employees
- 1 in advisory functions
- 1 state-registered rep
- 2 broker-dealer reps
- 1 insurance agent
- Owns 50% to 75% of Yim Investment Management, LLC
Mario Yim
Control person · since November 2005
Yim Investment Management’s regulatory assets grew from $257M (March 2021) to $308M (March 2026); clients fell from 649 to 523 and employees rose from 5 to 7.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $308M | 523 | 7 | 1 |
| Mar 2025March 2025 | $248M | 492 | 5 | 1 |
| Mar 2024March 2024 | $242M | 475 | 6 | 1 |
| Feb 2023February 2023 | $182M | 631 | 3 | 1 |
| Apr 2022April 2022 | $253M | 649 | 5 | 1 |
| Mar 2021March 2021 | $257M | 649 | 5 | 1 |
Besides its headquarters, Yim Investment Management has 0 offices, with 1 listed address in 1 state.
Hawaii · 1 listed address
- 1950 Young Street Suite 288, HonoluluHQ
Contact and registration details
- Legal name
- Yim Investment Management, LLC
- Headquarters
- 1950 Young Street Suite 288, Honolulu, HI 96826-2150
- Website
- Not reported
- Phone
- 808-955-8800
- SEC file
- 801-64818
- Structure
- Hawaii LLC
- Fiscal year end
- December
Yim Investment Management does not have custody of client assets.
At year end, Yim Investment Management’s separately managed accounts were mostly in stocks (98%).
What the accounts hold
- Stocks98%
- Cash2%
How many clients does Yim Investment Management have?
Yim Investment Management has 523 clients and manages $308 million for them, as of March 2026. They include 418 individual clients and 105 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026
What services does Yim Investment Management offer?
Yim Investment Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, publishing newsletters, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Yim Investment Management charge?
Yim Investment Management charges 1.40% a year for its Investment Management Standard Fee Schedule. The fee is billed in arrears and is negotiable.
Source: ADV PT 2A & 2B - AMENDED 03/23/2026, filed 25 March 2026
How many financial advisors does Yim Investment Management have?
Yim Investment Management has 1 investment adviser representative registered with state securities authorities, out of 7 employees, and 1 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Yim Investment Management invest in?
At the end of its last fiscal year, Yim Investment Management’s separately managed accounts held 98% exchange-traded equities and 2% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Yim Investment Management?
Yim Investment Management’s direct owner is Mario Yim (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 25 March 2026
How does Yim Investment Management get paid?
Yim Investment Management is paid through a percentage of assets under management and commissions. Its Form ADV lists no performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Yim Investment Management?
Yim Investment Management’s main office is at 1950 Young Street Suite 288, Honolulu, HI 96826-2150. Its phone number is 808-955-8800.